Margaret S. Fisher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Margaret Saigh Fisher, who also goes by Margaret A Saigh, Margaret Anne Saigh, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1998. Margaret had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - April 5, 2018
FROST INVESTMENT SERVICES
January 18, 2017 - April 5, 2018
FROST BROKERAGE SERVICES, INC.
October 1, 2015 - December 12, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 2015 - December 12, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 6, 2012 - October 11, 2013
MORGAN STANLEY
December 6, 2012 - October 11, 2013
MORGAN STANLEY
February 24, 2010 - November 5, 2012
NEW ENGLAND SECURITIES
August 18, 2009 - November 5, 2012
NEW ENGLAND SECURITIES
July 1, 2003 - August 21, 2009
SIXTEEN SECURITIES, INC.
June 29, 1998 - July 10, 2001
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
